The BasisCode Compliance suite of compliance management software solutions are used by some of the world’s leading financial services, consulting, legal, accounting, fund administrator and broker-dealer organizations.
BasisCode has financial compliance software that work for every size and every need.
Core software for organizations with basic compliance needs; enterprise software for firms requiring more comprehensive solutions. Every BasicCode compliance software solution is scalable and flexible to meet your organization’s needs.
A revolutionary proactive approach to monitoring Insider Trading! Enables users to detect suspicious or abnormal trading that may have resulted from the misuse of material non-public information. Available as a standalone software solution or as part of an integrated suite.
The core of a robust compliance and reporting program. Essentials covers testing and certifications, risk assessment, gifts and entertainment, whistleblower, document portal and employee portal.
A comprehensive compliance management software solution dedicated to larger firms with a global or more complex footprint. Enterprise covers testing and certifications, risk assessment, gifts and entertainment, whistleblower, personal trading, forms studio, documents portal, extensive reporting and an employee portal.
Streamlines management of personal trading including pre-clearance and post clearance, trade request analysis and employee-managed or direct feed brokerage options. Available as standalone or as part of an integrated suite.
Developed exclusively to allow compliance consultants to enhance compliance management controls, improve staff performance and productivity, and increase operational efficiency and scalability.
What customers are saying
Comprehensive financial compliance management functionality
A paperless platform for capturing all compliance workflow events and documents
Flexible system supports your workflows, procedures and rules
Seamless integration with existing systems
Links evidence to procedures
Archives all information making it easy to extract for regulatory audits
Saves time by automating all tasks and data gathering
Reduces risk exposure and liability
Your people: BasicCode financial compliance software solutions simplify compliance for all
- Chief Compliance Officer (CCO) and compliance management team
- Sales and Marketing teams
- Trading, asset management, fund administration teams
Our people: Live Customer Support
- Our designated account managers ensure responsive and knowledgeable support